In 2003, NIH standardized many features of the small grant (R03) and exploratory/developmental research grant (R21) to accommodate investigator-initiated applications (websites listed below under Inquiries). However, many Institutes and Centers (ICs) do not accept R03 applications, and many accept R21 applications only in response to specific funding opportunities. Applicants have been advised that R03 or R21 applications assigned to an IC that does not participate may be withdrawn from the review process.

Currently, there are approximately 250 active Program Announcements that utilize the R03 or R21 mechanism. Some are issued by a single IC and many are cosponsored by multiple ICs. These vary in the budget allowed, duration, eligibility requirements, page limits for the Research Plan, appendix materials allowed, number of revisions allowed, and other features. In some cases the location of the review (the Center for Scientific Review or an Institute/Center group) may vary according to the mechanism.

Appropriate assignment of R03 and R21 applications is critical to ensure that the IC designated and the review location are consistent with guidelines. Furthermore, review groups may be reviewing a variety of grant mechanisms (often R01, R03, and R21) in a single meeting. It is important for the reviewers to be correctly informed about the type of grant mechanism and any special features for the applications.

The NIH uses the information provided on line 2 of PHS 398 to correctly identify R03 and R21 applications. The cooperation of applicants is needed in providing this important information. The inclusion of this information will also ensure that the text of the appropriate Program Announcement is provided to the review group.

Implementation

Investigators submitting R03 or R21 applications must include an appropriate Program Announcement number and title on line 2 of PHS 398. If there is an indication that the application is intended to be a R03 or R21 but no Program Announcement number is listed, the Principal Investigator may be contacted and given a few days to identify an appropriate Program Announcement before the assignment of the application is completed. The application must conform to the specific features (budget limit, length of Research Plan, eligibility requirements, etc.) of the Program Announcement identified. The scientific topic must fit the research interest of at least one of the sponsoring ICs. If no appropriate Program Announcement is identified, the application may be delayed in the review process or have to be returned without review.

Inquiries

Investigators will find information about the R03 and R21 programs at the following sites: